a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Institutional Shares |
ii. Class identification number, if any | C000041645 |
iii. Ticker symbol, if any | APKXX |
Shares Outstanding Record:
2 |
i. Full name of Class | Select Shares |
ii. Class identification number, if any | C000041648 |
iii. Ticker symbol, if any | APNXX |
Shares Outstanding Record:
3 |
i. Full name of Class | Administrative Shares |
ii. Class identification number, if any | C000041646 |
iii. Ticker symbol, if any | APGXX |
Shares Outstanding Record:
4 |
i. Full name of Class | Service Shares |
ii. Class identification number, if any | C000041647 |
iii. Ticker symbol, if any | APJXX |
Pricing Services Record:
1 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | Thomson Reuters |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | BOK Financial Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 5493008UZFTI4G7UQ733 |
Description of other identifying number | |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | BOKF, NA |
ii. LEI, if any, or provide and describe
other
identifying number | FU7RSW4CQQY98A2O7J66 |
Description of other identifying number | |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
3 |
i. Full name | TD Ameritrade Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | MRK678VXOI09YSSN8X19 |
Description of other identifying number | |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
4 |
i. Full name | Geneos Wealth Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
5 |
i. Full name | LPL Financial LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 5493005NM7F0H1N3EQ39 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
6 |
i. Full name | JP Morgan Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | ZBUT11V806EZRVTWT807 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Principal Transactions Record:
1 |
i. Full name of dealer | BANK OF OKLAHOMA |
ii. SEC file number | N/A |
iii. CRD number | 000017530 |
iv. LEI, if any | 254900F2SLKQJKV0PA12 |
v. State, if applicable |
OKLAHOMA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 341,078,400.83 |
Principal Transactions Record:
2 |
i. Full name of dealer | BMO CAPITAL MARKETS |
ii. SEC file number | N/A |
iii. CRD number | 000016686 |
iv. LEI, if any | L64HM9LHPDOS1B9HJC68 |
v. State, if applicable | |
vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 33,861,014,562 |
Principal Transactions Record:
3 |
i. Full name of dealer | CALYON SECURITIES |
ii. SEC file number | N/A |
iii. CRD number | 000000190 |
iv. LEI, if any | 549300WO2DKF0Q3YMV43 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 56,782,000,000 |
Principal Transactions Record:
4 |
i. Full name of dealer | WELLS FARGO |
ii. SEC file number | N/A |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 514,332,260.85 |
Principal Transactions Record:
5 |
i. Full name of dealer | RBC CAPITAL MARKETS |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 24,760,000,000 |
Principal Transactions Record:
6 |
i. Full name of dealer | TORONTO DOMINION |
ii. SEC file number | N/A |
iii. CRD number | 000018476 |
iv. LEI, if any | FTKNBL28GQ7J4DQ9PE13 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 265,162,972.59 |
Principal Transactions Record:
7 |
i. Full name of dealer | GOLDMAN SACHS |
ii. SEC file number | N/A |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,372,234,830.14 |
Principal Transactions Record:
8 |
i. Full name of dealer | NOMURA SECURITIES |
ii. SEC file number | 008-50057 |
iii. CRD number | 000042885 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 533,617,037.44 |
Principal Transactions Record:
9 |
i. Full name of dealer | INVESCO |
ii. SEC file number | N/A |
iii. CRD number | 000123524 |
iv. LEI, if any | N/A |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,398,000,000 |
Principal Transactions Record:
10 |
i. Full name of dealer | MIZUHO |
ii. SEC file number | 008-37710 |
iii. CRD number | 000019647 |
iv. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 29,132,989,371.88 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | A Shares |
ii. Class identification number, if any | C000103431 |
iii. Ticker symbol, if any | AAOPX |
Shares Outstanding Record:
2 |
i. Full name of Class | C Shares |
ii. Class identification number, if any | C000150786 |
iii. Ticker symbol, if any | AACOX |
Shares Outstanding Record:
3 |
i. Full name of Class | Investor Shares |
ii. Class identification number, if any | C000103432 |
iii. Ticker symbol, if any | APOPX |
Shares Outstanding Record:
4 |
i. Full name of Class | Institutional Shares |
ii. Class identification number, if any | C000103433 |
iii. Ticker symbol, if any | AIOPX |
Pricing Services Record:
1 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Thomson Reuters |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | BOKF, NA |
ii. LEI, if any, or provide and describe
other
identifying number | FU7RSW4CQQY98A2O7J66 |
Description of other identifying number | |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | JP Morgan Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | ZBUT11V806EZRVTWT807 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
3 |
i. Full name | Geneos Wealth Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
4 |
i. Full name | BOK Financial Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 5493008UZFTI4G7UQ733 |
Description of other identifying number | |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
5 |
i. Full name | TD Ameritrade Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | MRK678VXOI09YSSN8X19 |
Description of other identifying number | |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
6 |
i. Full name | LPL Financial LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 5493005NM7F0H1N3EQ39 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | STRATEGAS |
ii. SEC file number | 008-68138 |
iii. CRD number | 000149326 |
iv. LEI, if any | 254900D5NQ2O9DJLKH96 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 9,772.45000000 |
Brokers Record:
2 |
i. Full name of broker | JEFFERIES |
ii. SEC file number | N/A |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 9,126.05000000 |
Brokers Record:
3 |
i. Full name of broker | RAYMOND JAMES |
ii. SEC file number | N/A |
iii. CRD number | 000000705 |
iv. LEI, if any | U4ONQX15J3RO8XCKE979 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 21,828.45000000 |
Brokers Record:
4 |
i. Full name of broker | INVESTMENT TECHNOLOGY GROUP |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 10,744.03000000 |
Brokers Record:
5 |
i. Full name of broker | CAPITAL INSTITUTIONAL SERVICES |
ii. SEC file number | N/A |
iii. CRD number | 000007551 |
iv. LEI, if any | 54930061X8RDWFDJIS05 |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 34,042.20 |
Brokers Record:
6 |
i. Full name of broker | CAPITAL WEST SECURITIES |
ii. SEC file number | N/A |
iii. CRD number | 000013556 |
iv. LEI, if any | N/A |
v. State, if applicable |
ARIZONA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 13,105.55 |
Brokers Record:
7 |
i. Full name of broker | GOLDMAN SACHS |
ii. SEC file number | N/A |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 10,548.62 |
Brokers Record:
8 |
i. Full name of broker | INTERNATIONAL STRATEGY AND INVESTMENT |
ii. SEC file number | N/A |
iii. CRD number | 000111085 |
iv. LEI, if any | 213800AWTJESHH3ZZM26 |
v. State, if applicable | |
vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Gross commissions paid by the Fund for
the
reporting period | 10,062.55 |
Brokers Record:
9 |
i. Full name of broker | SUNTRUST |
ii. SEC file number | N/A |
iii. CRD number | 000036888 |
iv. LEI, if any | IYDOJBGJWY9T8XKCSX06 |
v. State, if applicable |
GEORGIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 8,262.25 |
Brokers Record:
10 |
i. Full name of broker | UBS |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 549300SZJ9VS8SGXAN81 |
v. State, if applicable | |
vi. Foreign country, if applicable |
SWITZERLAND
|
vii. Gross commissions paid by the Fund for
the
reporting period | 8,970.75 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 179,542.08 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | DEUTSCHE BANK |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 529900BXKPMXQTRE1V05 |
v. State, if applicable | |
vi. Foreign country, if applicable |
SWITZERLAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 957,913.28000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | NOMURA |
ii. SEC file number | 008-50057 |
iii. CRD number | 000042885 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,913,376.37000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | J.P Morgan Securities |
ii. SEC file number | N/A |
iii. CRD number | 000018718 |
iv. LEI, if any | K6Q0W1PS1L1O4IQL9C32 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,778,928.91 |
Principal Transactions Record:
4 |
i. Full name of dealer | MIZUHO SECURITIES |
ii. SEC file number | 008-37710 |
iii. CRD number | 000019647 |
iv. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 981,768.12000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | BANK OF NEW YORK |
ii. SEC file number | N/A |
iii. CRD number | 000112559 |
iv. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 976,256.72000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | BANK OF OKLAHOMA |
ii. SEC file number | N/A |
iii. CRD number | 000017530 |
iv. LEI, if any | 254900F2SLKQJKV0PA12 |
v. State, if applicable |
OKLAHOMA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 103,048,864.33 |
Principal Transactions Record:
7 |
i. Full name of dealer | WELLS FARGO |
ii. SEC file number | N/A |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,305,396.00000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | Stifel, Nicolaus & Company, Inc. |
ii. SEC file number | N/A |
iii. CRD number | 000000793 |
iv. LEI, if any | 5WUVMA08EYG4KEUPW589 |
v. State, if applicable |
MISSOURI
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,000,260.00 |
Principal Transactions Record:
9 |
i. Full name of dealer | GOLDMAN SACHS |
ii. SEC file number | N/A |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,179,829.82 |
Principal Transactions Record:
10 |
i. Full name of dealer | BANK OF AMERICA |
ii. SEC file number | N/A |
iii. CRD number | 000112613 |
iv. LEI, if any | EYKN6V0ZCB8VD9IULB80 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,715,724.00 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | A Shares |
ii. Class identification number, if any | C000102306 |
iii. Ticker symbol, if any | AABAX |
Shares Outstanding Record:
2 |
i. Full name of Class | C Shares |
ii. Class identification number, if any | C000150784 |
iii. Ticker symbol, if any | AACBX |
Shares Outstanding Record:
3 |
i. Full name of Class | Institutional Shares |
ii. Class identification number, if any | C000024284 |
iii. Ticker symbol, if any | AIBLX |
Shares Outstanding Record:
4 |
i. Full name of Class | Investor Shares |
ii. Class identification number, if any | C000024283 |
iii. Ticker symbol, if any | APBAX |
Pricing Services Record:
1 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | Thomson Reuters |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | TD Ameritrade Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | MRK678VXOI09YSSN8X19 |
Description of other identifying number | |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | BOK Financial Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 5493008UZFTI4G7UQ733 |
Description of other identifying number | |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
3 |
i. Full name | LPL Financial LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 5493005NM7F0H1N3EQ39 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
4 |
i. Full name | JP Morgan Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | ZBUT11V806EZRVTWT807 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
5 |
i. Full name | BOKF, NA |
ii. LEI, if any, or provide and describe
other
identifying number | FU7RSW4CQQY98A2O7J66 |
Description of other identifying number | |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
6 |
i. Full name | Geneos Wealth Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | RAYMOND JAMES |
ii. SEC file number | N/A |
iii. CRD number | 000000705 |
iv. LEI, if any | U4ONQX15J3RO8XCKE979 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 714.10000000 |
Brokers Record:
2 |
i. Full name of broker | INVESTMENT TECHNOLOGY GROUP |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,259.21000000 |
Brokers Record:
3 |
i. Full name of broker | UBS |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 549300SZJ9VS8SGXAN81 |
v. State, if applicable | |
vi. Foreign country, if applicable |
SWITZERLAND
|
vii. Gross commissions paid by the Fund for
the
reporting period | 691.70000000 |
Brokers Record:
4 |
i. Full name of broker | STRATEGAS |
ii. SEC file number | 008-68138 |
iii. CRD number | 000149326 |
iv. LEI, if any | 254900D5NQ2O9DJLKH96 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,036.75000000 |
Brokers Record:
5 |
i. Full name of broker | BANK OF NEW YORK |
ii. SEC file number | N/A |
iii. CRD number | 000112559 |
iv. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,925.55000000 |
Brokers Record:
6 |
i. Full name of broker | CAPITAL INSTITUTIONAL SERVICES |
ii. SEC file number | N/A |
iii. CRD number | 000007551 |
iv. LEI, if any | 54930061X8RDWFDJIS05 |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,140.14 |
Brokers Record:
7 |
i. Full name of broker | CORNERSTONE MACRO |
ii. SEC file number | N/A |
iii. CRD number | 000168152 |
iv. LEI, if any | 25490003PASAH33YSQ08 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 931.15 |
Brokers Record:
8 |
i. Full name of broker | GOLDMAN SACHS |
ii. SEC file number | N/A |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 965.69 |
Brokers Record:
9 |
i. Full name of broker | INTERNATIONAL STRATEGY AND INVESTMENT |
ii. SEC file number | N/A |
iii. CRD number | 000111085 |
iv. LEI, if any | 213800AWTJESHH3ZZM26 |
v. State, if applicable | |
vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,475.20 |
Brokers Record:
10 |
i. Full name of broker | MORGAN STANLEY |
ii. SEC file number | N/A |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 589.15 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 18,760.57 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | BMO CAPITAL |
ii. SEC file number | N/A |
iii. CRD number | 000016686 |
iv. LEI, if any | L64HM9LHPDOS1B9HJC68 |
v. State, if applicable | |
vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,104,709.22 |
Principal Transactions Record:
2 |
i. Full name of dealer | BANK OF OKLAHOMA |
ii. SEC file number | N/A |
iii. CRD number | 000017530 |
iv. LEI, if any | 254900F2SLKQJKV0PA12 |
v. State, if applicable |
OKLAHOMA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 25,973,807.30 |
Principal Transactions Record:
3 |
i. Full name of dealer | J.P Morgan Securities |
ii. SEC file number | N/A |
iii. CRD number | 000018718 |
iv. LEI, if any | K6Q0W1PS1L1O4IQL9C32 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,892,786.05 |
Principal Transactions Record:
4 |
i. Full name of dealer | WELLS FARGO |
ii. SEC file number | N/A |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,057,126.41000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | BANK OF AMERICA |
ii. SEC file number | N/A |
iii. CRD number | 000112613 |
iv. LEI, if any | EYKN6V0ZCB8VD9IULB80 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,996,138.81 |
Principal Transactions Record:
6 |
i. Full name of dealer | WELLS NELSON |
ii. SEC file number | N/A |
iii. CRD number | 000010403 |
iv. LEI, if any | N/A |
v. State, if applicable |
OKLAHOMA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,214,585.51 |
Principal Transactions Record:
7 |
i. Full name of dealer | INTL FCStonE INC. |
ii. SEC file number | N/A |
iii. CRD number | 000045993 |
iv. LEI, if any | 549300LNKU6K5TJCRG93 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,982,116.52 |
Principal Transactions Record:
8 |
i. Full name of dealer | KGS ALPHA CAPITAL MARKETS, LLC |
ii. SEC file number | 008-68390 |
iii. CRD number | 000151705 |
iv. LEI, if any | 44GGLHWICIWSS2TGBN02 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 632,921.25 |
Principal Transactions Record:
9 |
i. Full name of dealer | GOLDMAN SACHS |
ii. SEC file number | N/A |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 653,876.23 |
Principal Transactions Record:
10 |
i. Full name of dealer | DEUTSCHE BANK |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 529900BXKPMXQTRE1V05 |
v. State, if applicable | |
vi. Foreign country, if applicable |
SWITZERLAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,108,523.46 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Investor Shares |
ii. Class identification number, if any | C000176157 |
iii. Ticker symbol, if any | APWVX |
Shares Outstanding Record:
2 |
i. Full name of Class | A Shares |
ii. Class identification number, if any | C000176154 |
iii. Ticker symbol, if any | AAWVX |
Shares Outstanding Record:
3 |
i. Full name of Class | Institutional Shares |
ii. Class identification number, if any | C000176156 |
iii. Ticker symbol, if any | AIWVX |
Shares Outstanding Record:
4 |
i. Full name of Class | C Shares |
ii. Class identification number, if any | C000176155 |
iii. Ticker symbol, if any | ACWVX |
Pricing Services Record:
1 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Thomson Reuters |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | BOKF, NA |
ii. LEI, if any, or provide and describe
other
identifying number | FU7RSW4CQQY98A2O7J66 |
Description of other identifying number | |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | JP Morgan Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | ZBUT11V806EZRVTWT807 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
3 |
i. Full name | TD Ameritrade Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | MRK678VXOI09YSSN8X19 |
Description of other identifying number | |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
4 |
i. Full name | BOK Financial Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 5493008UZFTI4G7UQ733 |
Description of other identifying number | |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
5 |
i. Full name | LPL Financial LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 5493005NM7F0H1N3EQ39 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
6 |
i. Full name | Geneos Wealth Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | INVESTMENT TECHNOLOGY GROUP |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 399.70000000 |
Brokers Record:
2 |
i. Full name of broker | RAYMOND JAMES |
ii. SEC file number | N/A |
iii. CRD number | 000000705 |
iv. LEI, if any | U4ONQX15J3RO8XCKE979 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 68.45000000 |
Brokers Record:
3 |
i. Full name of broker | ROBERT W. BAIRD & CO. |
ii. SEC file number | N/A |
iii. CRD number | 000008158 |
iv. LEI, if any | 549300772UJAHRD6LO53 |
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 68.55000000 |
Brokers Record:
4 |
i. Full name of broker | STRATEGAS |
ii. SEC file number | 008-68138 |
iii. CRD number | 000149326 |
iv. LEI, if any | 254900D5NQ2O9DJLKH96 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 203.05000000 |
Brokers Record:
5 |
i. Full name of broker | BANK OF NEW YORK |
ii. SEC file number | N/A |
iii. CRD number | 000112559 |
iv. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 524.30000000 |
Brokers Record:
6 |
i. Full name of broker | BLOOMBERG TRADEBOOK LLC |
ii. SEC file number | N/A |
iii. CRD number | 000040881 |
iv. LEI, if any | 549300P0PVQNO43T7K36 |
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 66.97 |
Brokers Record:
7 |
i. Full name of broker | CAPITAL INSTITUTIONAL SERVICES |
ii. SEC file number | N/A |
iii. CRD number | 000007551 |
iv. LEI, if any | 54930061X8RDWFDJIS05 |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 624.86 |
Brokers Record:
8 |
i. Full name of broker | CAPITAL WEST SECURITIES |
ii. SEC file number | N/A |
iii. CRD number | 000013556 |
iv. LEI, if any | N/A |
v. State, if applicable |
ARIZONA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 90.30 |
Brokers Record:
9 |
i. Full name of broker | GOLDMAN SACHS |
ii. SEC file number | N/A |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 182.04 |
Brokers Record:
10 |
i. Full name of broker | INTERNATIONAL STRATEGY AND INVESTMENT |
ii. SEC file number | N/A |
iii. CRD number | 000111085 |
iv. LEI, if any | 213800AWTJESHH3ZZM26 |
v. State, if applicable | |
vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Gross commissions paid by the Fund for
the
reporting period | 195.90 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 2,604.10 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Investor Shares |
ii. Class identification number, if any | C000024285 |
iii. Ticker symbol, if any | APSTX |
Shares Outstanding Record:
2 |
i. Full name of Class | A Shares |
ii. Class identification number, if any | C000102307 |
iii. Ticker symbol, if any | AASTX |
Shares Outstanding Record:
3 |
i. Full name of Class | Institutional Shares |
ii. Class identification number, if any | C000024286 |
iii. Ticker symbol, if any | AISTX |
Pricing Services Record:
1 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Thomson Reuters |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | BOK Financial Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 5493008UZFTI4G7UQ733 |
Description of other identifying number | |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | TD Ameritrade Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | MRK678VXOI09YSSN8X19 |
Description of other identifying number | |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
3 |
i. Full name | Geneos Wealth Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
4 |
i. Full name | JP Morgan Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | ZBUT11V806EZRVTWT807 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
5 |
i. Full name | BOKF, NA |
ii. LEI, if any, or provide and describe
other
identifying number | FU7RSW4CQQY98A2O7J66 |
Description of other identifying number | |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
6 |
i. Full name | LPL Financial LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 5493005NM7F0H1N3EQ39 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Principal Transactions Record:
1 |
i. Full name of dealer | BANK OF AMERICA |
ii. SEC file number | N/A |
iii. CRD number | 000112613 |
iv. LEI, if any | EYKN6V0ZCB8VD9IULB80 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 40,490,972.66 |
Principal Transactions Record:
2 |
i. Full name of dealer | BMO CAPITAL |
ii. SEC file number | N/A |
iii. CRD number | 000016686 |
iv. LEI, if any | L64HM9LHPDOS1B9HJC68 |
v. State, if applicable | |
vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 23,455,945.89 |
Principal Transactions Record:
3 |
i. Full name of dealer | MIZUHO SECURITIES |
ii. SEC file number | 008-37710 |
iii. CRD number | 000019647 |
iv. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 7,953,890.87000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | J.P Morgan Securities |
ii. SEC file number | N/A |
iii. CRD number | 000018718 |
iv. LEI, if any | K6Q0W1PS1L1O4IQL9C32 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 7,004,984.69 |
Principal Transactions Record:
5 |
i. Full name of dealer | DEUTSCHE BANK |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 529900BXKPMXQTRE1V05 |
v. State, if applicable | |
vi. Foreign country, if applicable |
SWITZERLAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 14,027,969.59 |
Principal Transactions Record:
6 |
i. Full name of dealer | WELLS FARGO |
ii. SEC file number | N/A |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 14,494,978.89000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | BANK OF OKLAHOMA |
ii. SEC file number | N/A |
iii. CRD number | 000017530 |
iv. LEI, if any | 254900F2SLKQJKV0PA12 |
v. State, if applicable |
OKLAHOMA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 122,908,274.96 |
Principal Transactions Record:
8 |
i. Full name of dealer | JANNEY MONTGOMERY |
ii. SEC file number | N/A |
iii. CRD number | 000000463 |
iv. LEI, if any | 549300QQRY1JCFQHYS08 |
v. State, if applicable |
PENNSYLVANIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,403,422.52 |
Principal Transactions Record:
9 |
i. Full name of dealer | GOLDMAN SACHS |
ii. SEC file number | N/A |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,031,443.67 |
Principal Transactions Record:
10 |
i. Full name of dealer | KGS ALPHA CAPITAL MARKETS, LLC |
ii. SEC file number | 008-68390 |
iii. CRD number | 000151705 |
iv. LEI, if any | 44GGLHWICIWSS2TGBN02 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 13,672,193.63 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Institutional Shares |
ii. Class identification number, if any | C000024293 |
iii. Ticker symbol, if any | AIBNX |
Shares Outstanding Record:
2 |
i. Full name of Class | Investor Shares |
ii. Class identification number, if any | C000024292 |
iii. Ticker symbol, if any | APBDX |
Shares Outstanding Record:
3 |
i. Full name of Class | A Shares |
ii. Class identification number, if any | C000102309 |
iii. Ticker symbol, if any | AABOX |
Pricing Services Record:
1 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | Thomson Reuters |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | BOKF, NA |
ii. LEI, if any, or provide and describe
other
identifying number | FU7RSW4CQQY98A2O7J66 |
Description of other identifying number | |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | TD Ameritrade Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | MRK678VXOI09YSSN8X19 |
Description of other identifying number | |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
3 |
i. Full name | Geneos Wealth Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
4 |
i. Full name | BOK Financial Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 5493008UZFTI4G7UQ733 |
Description of other identifying number | |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
5 |
i. Full name | JP Morgan Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | ZBUT11V806EZRVTWT807 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
6 |
i. Full name | LPL Financial LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 5493005NM7F0H1N3EQ39 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Principal Transactions Record:
1 |
i. Full name of dealer | WELLS FARGO |
ii. SEC file number | N/A |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 23,443,868.89 |
Principal Transactions Record:
2 |
i. Full name of dealer | BARCLAYS |
ii. SEC file number | N/A |
iii. CRD number | 000018395 |
iv. LEI, if any | 213800UYYZZYQPRT9B51 |
v. State, if applicable | |
vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,134,561.05 |
Principal Transactions Record:
3 |
i. Full name of dealer | BMO CAPITAL |
ii. SEC file number | N/A |
iii. CRD number | 000016686 |
iv. LEI, if any | L64HM9LHPDOS1B9HJC68 |
v. State, if applicable | |
vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,146,377.30 |
Principal Transactions Record:
4 |
i. Full name of dealer | BANK OF AMERICA |
ii. SEC file number | N/A |
iii. CRD number | 000112613 |
iv. LEI, if any | EYKN6V0ZCB8VD9IULB80 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 15,548,229.04 |
Principal Transactions Record:
5 |
i. Full name of dealer | BANK OF OKLAHOMA |
ii. SEC file number | N/A |
iii. CRD number | 000017530 |
iv. LEI, if any | 254900F2SLKQJKV0PA12 |
v. State, if applicable |
OKLAHOMA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 93,395,262.64 |
Principal Transactions Record:
6 |
i. Full name of dealer | DEUTSCHE BANK |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 529900BXKPMXQTRE1V05 |
v. State, if applicable | |
vi. Foreign country, if applicable |
SWITZERLAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 6,668,080.65000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | J.P Morgan Securities |
ii. SEC file number | N/A |
iii. CRD number | 000018718 |
iv. LEI, if any | K6Q0W1PS1L1O4IQL9C32 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 10,834,455.12 |
Principal Transactions Record:
8 |
i. Full name of dealer | INTL FCSTONE |
ii. SEC file number | N/A |
iii. CRD number | 000045993 |
iv. LEI, if any | 549300LNKU6K5TJCRG93 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 7,146,304.92 |
Principal Transactions Record:
9 |
i. Full name of dealer | JANNEY MONTGOMERY |
ii. SEC file number | N/A |
iii. CRD number | 000000463 |
iv. LEI, if any | 549300QQRY1JCFQHYS08 |
v. State, if applicable |
PENNSYLVANIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,089,661.44 |
Principal Transactions Record:
10 |
i. Full name of dealer | WELLS NELSON |
ii. SEC file number | N/A |
iii. CRD number | 000010403 |
iv. LEI, if any | N/A |
v. State, if applicable |
OKLAHOMA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,534,747.85 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Institutional Shares |
ii. Class identification number, if any | C000136571 |
iii. Ticker symbol, if any | AIWEX |
Shares Outstanding Record:
2 |
i. Full name of Class | Investor Shares |
ii. Class identification number, if any | C000136572 |
iii. Ticker symbol, if any | APWEX |
Shares Outstanding Record:
3 |
i. Full name of Class | A Shares |
ii. Class identification number, if any | C000136573 |
iii. Ticker symbol, if any | AAWEX |
Shares Outstanding Record:
4 |
i. Full name of Class | C Shares |
ii. Class identification number, if any | C000136574 |
iii. Ticker symbol, if any | ACWEX |
Pricing Services Record:
1 |
i. Full name | Thomson Reuters |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | BOK Financial Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 5493008UZFTI4G7UQ733 |
Description of other identifying number | |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | BOKF, NA |
ii. LEI, if any, or provide and describe
other
identifying number | FU7RSW4CQQY98A2O7J66 |
Description of other identifying number | |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
3 |
i. Full name | Geneos Wealth Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
4 |
i. Full name | LPL Financial LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 5493005NM7F0H1N3EQ39 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
5 |
i. Full name | JP Morgan Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | ZBUT11V806EZRVTWT807 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
6 |
i. Full name | TD Ameritrade Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | MRK678VXOI09YSSN8X19 |
Description of other identifying number | |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | RAYMOND JAMES |
ii. SEC file number | N/A |
iii. CRD number | 000000705 |
iv. LEI, if any | U4ONQX15J3RO8XCKE979 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 11,711.00000000 |
Brokers Record:
2 |
i. Full name of broker | INVESTMENT TECHNOLOGY GROUP |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 8,995.57000000 |
Brokers Record:
3 |
i. Full name of broker | BANK OF NEW YORK |
ii. SEC file number | N/A |
iii. CRD number | 000112559 |
iv. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 15,715.45000000 |
Brokers Record:
4 |
i. Full name of broker | STRATEGAS |
ii. SEC file number | 008-68138 |
iii. CRD number | 000149326 |
iv. LEI, if any | 254900D5NQ2O9DJLKH96 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 9,256.40000000 |
Brokers Record:
5 |
i. Full name of broker | BANK HAPOALIM |
ii. SEC file number | 008-03018 |
iii. CRD number | 000000266 |
iv. LEI, if any | 549300DX255OQ4DT2K44 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 50,531.00 |
Brokers Record:
6 |
i. Full name of broker | ALEX BROWN AND SONS |
ii. SEC file number | N/A |
iii. CRD number | 000000020 |
iv. LEI, if any | N/A |
v. State, if applicable |
MARYLAND
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 10,969.80 |
Brokers Record:
7 |
i. Full name of broker | CAPITAL INSTITUTIONAL SERVICES |
ii. SEC file number | N/A |
iii. CRD number | 000007551 |
iv. LEI, if any | 54930061X8RDWFDJIS05 |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 40,502.30 |
Brokers Record:
8 |
i. Full name of broker | CAPITAL WEST SECURITIES |
ii. SEC file number | N/A |
iii. CRD number | 000013556 |
iv. LEI, if any | N/A |
v. State, if applicable |
ARIZONA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 9,430.25 |
Brokers Record:
9 |
i. Full name of broker | GOLDMAN SACHS |
ii. SEC file number | N/A |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 18,946.50 |
Brokers Record:
10 |
i. Full name of broker | INTERNATIONAL STRATEGY AND INVESTMENT |
ii. SEC file number | N/A |
iii. CRD number | 000111085 |
iv. LEI, if any | 213800AWTJESHH3ZZM26 |
v. State, if applicable | |
vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Gross commissions paid by the Fund for
the
reporting period | 17,143.05 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 226,319.44 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | BANK OF OKLAHOMA |
ii. SEC file number | N/A |
iii. CRD number | 000017530 |
iv. LEI, if any | 254900F2SLKQJKV0PA12 |
v. State, if applicable |
OKLAHOMA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 52,141,399.29 |
Principal Transactions Record:
2 |
i. Full name of dealer | WELLS FARGO |
ii. SEC file number | N/A |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 795,355.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | Knight Securities, L.P. |
ii. SEC file number | 008-48311 |
iii. CRD number | 000038599 |
iv. LEI, if any | OYLND20HCVC12JS4WU59 |
v. State, if applicable |
NEW JERSEY
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 346,309.75000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | DONALDSON LUFKIN & CO. |
ii. SEC file number | N/A |
iii. CRD number | 000007560 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW JERSEY
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 287,182.50 |
Principal Transactions Record:
5 |
i. Full name of dealer | BONDDESK INSTITUTIONAL TRADING |
ii. SEC file number | 008-52278 |
iii. CRD number | 000103787 |
iv. LEI, if any | 549300MII67ES5YBJH61 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 305,545.50 |
Principal Transactions Record:
6 |
i. Full name of dealer | MILLENIUM ADVISORS |
ii. SEC file number | 008-68349 |
iii. CRD number | 000151236 |
iv. LEI, if any | 254900E1P6Z2XZYSA163 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 183,260.00 |
Principal Transactions Record:
7 |
i. Full name of dealer | SUMRIDGE PARTNERS |
ii. SEC file number | 008-68454 |
iii. CRD number | 000152437 |
iv. LEI, if any | 529900ECMK8VI6Q1FG89 |
v. State, if applicable |
NEW JERSEY
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 403,000.00 |
Principal Transactions Record:
8 |
i. Full name of dealer | J.P Morgan Securities |
ii. SEC file number | N/A |
iii. CRD number | 000018718 |
iv. LEI, if any | K6Q0W1PS1L1O4IQL9C32 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 519,995.00 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Institutional Shares |
ii. Class identification number, if any | C000041649 |
iii. Ticker symbol, if any | APHXX |
Shares Outstanding Record:
2 |
i. Full name of Class | Premier Shares |
ii. Class identification number, if any | C000073542 |
iii. Ticker symbol, if any | APPXX |
Shares Outstanding Record:
3 |
i. Full name of Class | Select Shares |
ii. Class identification number, if any | C000041652 |
iii. Ticker symbol, if any | APSXX |
Shares Outstanding Record:
4 |
i. Full name of Class | Administrative Shares |
ii. Class identification number, if any | C000041650 |
iii. Ticker symbol, if any | APCXX |
Pricing Services Record:
1 |
i. Full name | Thomson Reuters |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Geneos Wealth Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | TD Ameritrade Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | MRK678VXOI09YSSN8X19 |
Description of other identifying number | |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
3 |
i. Full name | JP Morgan Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | ZBUT11V806EZRVTWT807 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
4 |
i. Full name | BOK Financial Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 5493008UZFTI4G7UQ733 |
Description of other identifying number | |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
5 |
i. Full name | BOKF, NA |
ii. LEI, if any, or provide and describe
other
identifying number | FU7RSW4CQQY98A2O7J66 |
Description of other identifying number | |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
6 |
i. Full name | LPL Financial LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 5493005NM7F0H1N3EQ39 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Principal Transactions Record:
1 |
i. Full name of dealer | MIZUHO |
ii. SEC file number | 008-37710 |
iii. CRD number | 000019647 |
iv. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 19,141,612,159.21 |
Principal Transactions Record:
2 |
i. Full name of dealer | CALYON SECURITIES |
ii. SEC file number | N/A |
iii. CRD number | 000000190 |
iv. LEI, if any | 549300WO2DKF0Q3YMV43 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 49,215,000,000 |
Principal Transactions Record:
3 |
i. Full name of dealer | GOLDMAN SACHS |
ii. SEC file number | N/A |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 10,927,635,706.07 |
Principal Transactions Record:
4 |
i. Full name of dealer | NOMURA SECURITIES |
ii. SEC file number | 008-50057 |
iii. CRD number | 000042885 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 398,446,570.37 |
Principal Transactions Record:
5 |
i. Full name of dealer | WELLS FARGO |
ii. SEC file number | N/A |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 41,993,688,075.28 |
Principal Transactions Record:
6 |
i. Full name of dealer | BMO CAPITAL MARKETS |
ii. SEC file number | N/A |
iii. CRD number | 000016686 |
iv. LEI, if any | L64HM9LHPDOS1B9HJC68 |
v. State, if applicable | |
vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 14,312,920,411.31 |
Principal Transactions Record:
7 |
i. Full name of dealer | FEDERATED |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 254900VAJ9169N7JRF45 |
v. State, if applicable |
PENNSYLVANIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 240,582,171.26 |
Principal Transactions Record:
8 |
i. Full name of dealer | RBC CAPITAL MARKETS |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 27,495,000,000 |
Principal Transactions Record:
9 |
i. Full name of dealer | INVESCO |
ii. SEC file number | N/A |
iii. CRD number | 000123524 |
iv. LEI, if any | N/A |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,280,000,000 |
Principal Transactions Record:
10 |
i. Full name of dealer | TORONTO DOMINION |
ii. SEC file number | N/A |
iii. CRD number | 000018476 |
iv. LEI, if any | FTKNBL28GQ7J4DQ9PE13 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 280,102,073.07 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | A Shares |
ii. Class identification number, if any | C000196700 |
iii. Ticker symbol, if any | AAENX |
Shares Outstanding Record:
2 |
i. Full name of Class | Investor Shares |
ii. Class identification number, if any | C000196702 |
iii. Ticker symbol, if any | APENX |
Shares Outstanding Record:
3 |
i. Full name of Class | Institutional Shares |
ii. Class identification number, if any | C000196701 |
iii. Ticker symbol, if any | AIENX |
Pricing Services Record:
1 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Thomson Reuters |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Geneos Wealth Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | BOKF, NA |
ii. LEI, if any, or provide and describe
other
identifying number | FU7RSW4CQQY98A2O7J66 |
Description of other identifying number | |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
3 |
i. Full name | JP Morgan Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | ZBUT11V806EZRVTWT807 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
4 |
i. Full name | LPL Financial LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 5493005NM7F0H1N3EQ39 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
5 |
i. Full name | BOK Financial Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 5493008UZFTI4G7UQ733 |
Description of other identifying number | |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
6 |
i. Full name | TD Ameritrade Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | MRK678VXOI09YSSN8X19 |
Description of other identifying number | |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Principal Transactions Record:
1 |
i. Full name of dealer | BANK OF AMERICA |
ii. SEC file number | N/A |
iii. CRD number | 000112613 |
iv. LEI, if any | EYKN6V0ZCB8VD9IULB80 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 303,362.85 |
Principal Transactions Record:
2 |
i. Full name of dealer | JEFFERIES |
ii. SEC file number | N/A |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 209,635.55000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | DEUTSCHE BANK |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 529900BXKPMXQTRE1V05 |
v. State, if applicable | |
vi. Foreign country, if applicable |
SWITZERLAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 145,592.50000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | MIZUHO SECURITIES |
ii. SEC file number | 008-37710 |
iii. CRD number | 000019647 |
iv. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 399,218.75000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | WELLS FARGO |
ii. SEC file number | N/A |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 210,401.55000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | BMO CAPITAL |
ii. SEC file number | N/A |
iii. CRD number | 000016686 |
iv. LEI, if any | L64HM9LHPDOS1B9HJC68 |
v. State, if applicable | |
vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 309,404.29 |
Principal Transactions Record:
7 |
i. Full name of dealer | BANK OF OKLAHOMA |
ii. SEC file number | N/A |
iii. CRD number | 000017530 |
iv. LEI, if any | 254900F2SLKQJKV0PA12 |
v. State, if applicable |
OKLAHOMA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,707,916.22 |
Principal Transactions Record:
8 |
i. Full name of dealer | J.P Morgan Securities |
ii. SEC file number | N/A |
iii. CRD number | 000018718 |
iv. LEI, if any | K6Q0W1PS1L1O4IQL9C32 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 145,670.70 |
Principal Transactions Record:
9 |
i. Full name of dealer | DAIN BOSWORTH INCORPORATED |
ii. SEC file number | N/A |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 148,567.01 |
Principal Transactions Record:
10 |
i. Full name of dealer | DONALDSON LUFKIN & CO. |
ii. SEC file number | N/A |
iii. CRD number | 000007560 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW JERSEY
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 119,063.89 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Institutional Shares |
ii. Class identification number, if any | C000196704 |
iii. Ticker symbol, if any | AIUSX |
Shares Outstanding Record:
2 |
i. Full name of Class | A Shares |
ii. Class identification number, if any | C000196703 |
iii. Ticker symbol, if any | AAUSX |
Shares Outstanding Record:
3 |
i. Full name of Class | Investor Shares |
ii. Class identification number, if any | C000196705 |
iii. Ticker symbol, if any | APUSX |
Pricing Services Record:
1 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | Thomson Reuters |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | JP Morgan Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | ZBUT11V806EZRVTWT807 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Geneos Wealth Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
3 |
i. Full name | TD Ameritrade Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | MRK678VXOI09YSSN8X19 |
Description of other identifying number | |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
4 |
i. Full name | BOK Financial Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 5493008UZFTI4G7UQ733 |
Description of other identifying number | |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
5 |
i. Full name | BOKF, NA |
ii. LEI, if any, or provide and describe
other
identifying number | FU7RSW4CQQY98A2O7J66 |
Description of other identifying number | |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
6 |
i. Full name | LPL Financial LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 5493005NM7F0H1N3EQ39 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Principal Transactions Record:
1 |
i. Full name of dealer | RBC CAPITAL MARKETS CORP |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 872,500.30000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | J.P Morgan Securities |
ii. SEC file number | N/A |
iii. CRD number | 000018718 |
iv. LEI, if any | K6Q0W1PS1L1O4IQL9C32 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,499,675.00 |
Principal Transactions Record:
3 |
i. Full name of dealer | WELLS FARGO |
ii. SEC file number | N/A |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,225,961.50000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | BANK OF OKLAHOMA |
ii. SEC file number | N/A |
iii. CRD number | 000017530 |
iv. LEI, if any | 254900F2SLKQJKV0PA12 |
v. State, if applicable |
OKLAHOMA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 9,344,910.75 |
Principal Transactions Record:
5 |
i. Full name of dealer | BANK OF AMERICA |
ii. SEC file number | N/A |
iii. CRD number | 000112613 |
iv. LEI, if any | EYKN6V0ZCB8VD9IULB80 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 11,342,714 |
Principal Transactions Record:
6 |
i. Full name of dealer | MESIROW FINANCIAL |
ii. SEC file number | N/A |
iii. CRD number | 000002764 |
iv. LEI, if any | 549300BIV46SUHPOFE54 |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,286,468.20 |
Principal Transactions Record:
7 |
i. Full name of dealer | BARCLAYS |
ii. SEC file number | N/A |
iii. CRD number | 000018395 |
iv. LEI, if any | 213800UYYZZYQPRT9B51 |
v. State, if applicable | |
vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,155,000.00 |
Principal Transactions Record:
8 |
i. Full name of dealer | KEYBANK |
ii. SEC file number | N/A |
iii. CRD number | 000000566 |
iv. LEI, if any | 2EQWV0180Z211YVAD813 |
v. State, if applicable |
OHIO
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 708,678 |
Principal Transactions Record:
9 |
i. Full name of dealer | DAIN BOSWORTH INCORPORATED |
ii. SEC file number | N/A |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 644,312.10 |
Principal Transactions Record:
10 |
i. Full name of dealer | Stifel, Nicolaus & Company, Incorporated |
ii. SEC file number | N/A |
iii. CRD number | 000000793 |
iv. LEI, if any | 5WUVMA08EYG4KEUPW589 |
v. State, if applicable |
MISSOURI
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 926,882.15 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | A Shares |
ii. Class identification number, if any | C000102310 |
iii. Ticker symbol, if any | AAIBX |
Shares Outstanding Record:
2 |
i. Full name of Class | Institutional Shares |
ii. Class identification number, if any | C000024300 |
iii. Ticker symbol, if any | AIFBX |
Shares Outstanding Record:
3 |
i. Full name of Class | Investor Shares |
ii. Class identification number, if any | C000024299 |
iii. Ticker symbol, if any | APFBX |
Pricing Services Record:
1 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Thomson Reuters |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | LPL Financial LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 5493005NM7F0H1N3EQ39 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Geneos Wealth Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
3 |
i. Full name | BOKF, NA |
ii. LEI, if any, or provide and describe
other
identifying number | FU7RSW4CQQY98A2O7J66 |
Description of other identifying number | |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
4 |
i. Full name | BOK Financial Securities, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 5493008UZFTI4G7UQ733 |
Description of other identifying number | |
iii. State, if applicable |
OKLAHOMA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
5 |
i. Full name | TD Ameritrade Trust Company |
ii. LEI, if any, or provide and describe
other
identifying number | MRK678VXOI09YSSN8X19 |
Description of other identifying number | |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
6 |
i. Full name | JP Morgan Securities LLC |
ii. LEI, if any, or provide and describe
other
identifying number | ZBUT11V806EZRVTWT807 |
Description of other identifying number | |
iii. State, if applicable |
TEXAS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Principal Transactions Record:
1 |
i. Full name of dealer | DEUTSCHE BANK |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 529900BXKPMXQTRE1V05 |
v. State, if applicable | |
vi. Foreign country, if applicable |
SWITZERLAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,258,825.59000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | BANK OF AMERICA |
ii. SEC file number | N/A |
iii. CRD number | 000112613 |
iv. LEI, if any | EYKN6V0ZCB8VD9IULB80 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,141,496.71 |
Principal Transactions Record:
3 |
i. Full name of dealer | BMO CAPITAL |
ii. SEC file number | N/A |
iii. CRD number | 000016686 |
iv. LEI, if any | L64HM9LHPDOS1B9HJC68 |
v. State, if applicable | |
vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,408,692.93 |
Principal Transactions Record:
4 |
i. Full name of dealer | WELLS FARGO |
ii. SEC file number | N/A |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 7,516,408.76 |
Principal Transactions Record:
5 |
i. Full name of dealer | J.P Morgan Securities |
ii. SEC file number | N/A |
iii. CRD number | 000018718 |
iv. LEI, if any | K6Q0W1PS1L1O4IQL9C32 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,153,937.67 |
Principal Transactions Record:
6 |
i. Full name of dealer | BANK OF OKLAHOMA |
ii. SEC file number | N/A |
iii. CRD number | 000017530 |
iv. LEI, if any | 254900F2SLKQJKV0PA12 |
v. State, if applicable |
OKLAHOMA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 32,616,365.32 |
Principal Transactions Record:
7 |
i. Full name of dealer | INTL FCStonE INC. |
ii. SEC file number | N/A |
iii. CRD number | 000045993 |
iv. LEI, if any | 549300LNKU6K5TJCRG93 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,984,556.81 |
Principal Transactions Record:
8 |
i. Full name of dealer | WELLS NELSON |
ii. SEC file number | N/A |
iii. CRD number | 000010403 |
iv. LEI, if any | N/A |
v. State, if applicable |
OKLAHOMA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,752,050.93 |
Principal Transactions Record:
9 |
i. Full name of dealer | GUGGENHEIM |
ii. SEC file number | N/A |
iii. CRD number | 000040638 |
iv. LEI, if any | 5493005G25VHYWLYJU59 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,305,227.86 |
Principal Transactions Record:
10 |
i. Full name of dealer | STEPHENS |
ii. SEC file number | N/A |
iii. CRD number | 000003496 |
iv. LEI, if any | 213800LH6T9XDYZCA534 |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,755,845.37 |